Brian Scott Rothman

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-27
FL	RA	APPROVED	2020-02-07
NJ	RA	APPROVED	2017-02-16
TX	RA	APPROVED_RES	2017-02-15

NY RA
APPROVED

Since 2021-04-27
FL RA
APPROVED

Since 2020-02-07
NJ RA
APPROVED

Since 2017-02-16
TX RA
APPROVED_RES

Since 2017-02-15

Branch Locations

Miami Beach, FL • United States

15 Independence Boulevard 1St Floor, Warren, NJ 07059 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mercer Allied Company, L.P.	Florham Park	NJ	12/1994	01/2017
Morgan Stanley	Warren	NJ	01/2017	Present
Morgan Stanley Private Bank, National Association	New York	NY	04/2017	Present

12/1994 → 01/2017

Mercer Allied Company, L.P.

Florham Park, NJ
01/2017 → Present

Morgan Stanley

Warren, NJ
04/2017 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2002-07-30 → 2017-01-10

Goldman Sachs Wealth Services, L.P.

Parsippany, NJ

Miami, FL

Other Businesses

*450130 - Warren Boys Pharma LLC; Investment related - Yes; Morristown, New Jersey; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 07/2021; During business hours: 0; After business hours: 1; Check Signing/Funds Disbursements

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-09
S63	Uniform Securities Agent State Law Examination	1985-03-13

S65 Uniform Investment Adviser Law Examination

2019-07-09
S63 Uniform Securities Agent State Law Examination

1985-03-13

View on SEC IAPD